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Audit Interviewing: The PICTURE Principle Tommy Sneed, Manager Tennessee Department of Revenue Special Investigations

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Presentation on theme: "Audit Interviewing: The PICTURE Principle Tommy Sneed, Manager Tennessee Department of Revenue Special Investigations"— Presentation transcript:

1 Audit Interviewing: The PICTURE Principle Tommy Sneed, Manager Tennessee Department of Revenue Special Investigations

2 Expectations?

3 Important Keys Communication is C_ _ _ _ _ _ _ _ _ _ Barriers can be overcome, if you listen. People Like to T_ _ _ People are not afraid to answer questions, they are afraid to ask them. An Interview is a C_ _ _ _ _ _ _ _ _ _ with an A_ _ _ _ _ I applied this principle immediately after Art Hayes told me about it. People Dont L_ _ _ to L_ _ But, they will. Every w_ _ _ has m_ _ _ _ _ _ Until someone says it happened, it did not happen (Daniel Marsano).

4 Logic Does the Answer match the Question and make sense? I dont remember doing it. No, unless they needed a little extra money for something. I love my kids too much to do something like that. If I took it, yeah. If I didnt, no.

5 What Happened Yesterday the 21 st ? Sometime after 12:30 not sure how much time Linda called and asked me to go to her cub and look for money that she was missing of of her deposits. I went to her desk while I was on phone with her looking for the money. I looked around for a second or two she said she was coming back to office. When she arrived back Becky and I helped her go thru everything trying to find money.

6 Interview Defined The agenda is to obtain information to assist in forming a mental PICTURE of truth.

7 Information Gathering Interview Element 1 P P reparation (Pause) Identify the reason for the interview Determine the person to interview and the order of interviews Perform necessary research Outline questions Imaging Chance favors the prepared mind -- Pasteur

8 Information Gathering Interview Element 2 I I ntroduction Establish the purpose of the interview Develop rapport/altruism The most important aspect of a conversation. Index People dont remember what you said; they remember how you made them feel.

9 Information Gathering Interview Element 3 C C apture the Pure Version Participation Ratio = Interviewer: 5% - Subject: 95% Open-ended questions No Interruptions Draw out complete responses through encouragement phrases. Employ Controlled Silence

10 Information Gathering Interview Element 4 T T ap Information Volunteered Obtain details about the information provided Squeeze the sponge Explore any mention of conversations, people, places, documents, chronology, and basis (who, what, when, where, why, how)

11 Information Gathering Interview Element 5 U U ncover Information Not Provided Obtain information in areas not volunteered by the subject. Fill the Gaps

12 Information Gathering Interview Element 6 R R ecap Obtain a commitment to important assertions Summarize key points Is there anything else you can tell me? Leave door open for further questioning

13 Information Gathering Interview Element 7 E E valuate Spend time making notes (notes should be limited during the Listening Phase of the interview) Transcribe your notes Verify the information

14 PICTURE PP reparation Identify the reason for the interview II ntroduction Establish the purpose Develop rapport/altruism CC apture the Pure Version Open-ended questions TT ap Information Volunteered Obtain details about the information provided UU ncover Information Not Provided Obtain information in areas not volunteered RR ecap EE valuate

15 An Important Key Dont pretend to understand.

16 Profile of a Successful…… Learner Intuitive Social Thinker Eclectic Neutral The task of leadership is to create an alignment of strengths making weaknesses irrelevant. -- Peter Drucker

17 Profile of a Successful…… Learner Intuitive Social Thinker Eclectic Neutral Leadership and learning are indispensable to each other. - JFK In times of change, learners inherit the earth, while the learned find themselves beautifully equipped to deal with a world that no longer exists. – Eric Hoffer

18 Profile of a Successful…… Learner Intuitive Social Thinker Eclectic Neutral Creativity is seeing what everyone else sees but thinking what no one else thinks. Wire Hangers

19 Profile of a Successful…… Learner Intuitive Social Thinker Eclectic Neutral Good Judgment comes from experience and a lot of that comes from bad judgment -- Will Rogers

20 Listening You can observe a lot by watching. 90% of the game is half mental. Yogi Berra --Yogi Berra What are some traits of Good Listeners?

21 Listening A good listener tries to understand thoroughly what the other person is saying. In the end he may disagree sharply, but before he disagrees, he wants to know exactly what it is he is disagreeing with. --Kenneth A. Wells, Guide to Good Leadership Generally, I try to employ a great deal of patience and willingness to listen to whatever is said, however untrue or disagreeable. --Senator George Mitchell When you are arguing with a fool, make sure he isnt doing the same thing.

22 Henry David Thoreau The greatest compliment that was ever paid me was when one asked me what I thought, and attended to my answer. It takes two to speak the truthone to speak and another to hear.

23 The Professional Listener Communicate you are listening through non-verbal behavior & encouragement phrases Ask Questions Open Ended – feelings Direct – facts Be prepared to paraphrase content and emotions Not and issue of agreement You dont have to be correct to further positive exchange He was probably just nosing through the trash.

24 Listening Exercise Determine your dominate eye.

25 Barriers to Effective Listening Experiences Biases Training Expectations Interests Feelings Agendas Barriers filter and distort communication

26 Listen Question: Would you replace the money? Answer: If I took it, yeah; if I didnt, no. Question: Would you replace the money? Answer: Yes I would replace if you need it.

27 Quotable Quote It doesnt do any good to beat a dead horse; but it doesnt hurt anything either. -- Unknown


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